Variable Annuities - Welcome To Questar Capital
Variable Annuities Product Sponsor Toll Free Web site Strategic Partner: Minneapolis, MN 55416-1297 | 888.446.5872 | questarcapital.com | Member FINRA, SIPC QST-025a. Title: Microsoft Word - VAProductList8.13.12.doc Author: AZL6RRC ... View Full Source
Variable Annuities/Life Advanced Features
The Variable Annuities/Life Advanced Module offers greater coverage of contract features, including living and 3 FINRA-reviewed policy reports with comprehensive listings of associated subaccounts. ... Access Content
Summary Of FINRA Rule Consolidation Initiatives
Consolidated FINRA Rule Book as FINRA Rule 2330, addresses issues raised about a firm’s ability to hold checks made Deferred Variable Annuities) in the Consolidated FINRA Rulebook . Proposing to adopt NASD Rule 2821, without any substantive ... Return Document
Variable annuities are currently regulated in the U.S. as insurance products by individual states’ insurance commis- better known as FINRA. Insurance agents and brokers are regulated by the insurance department of each state in which they are licensed. ... Access Content
Morgan Stanley Smith Barney LLC (“Morgan Stanley Smith ...
3 Understanding Variable Annuities *Effective September 2010, the title of this document has been changed • The FINRA Investor Alert, “Variable Annuities: Beyond the Hard Sell,” at http://www.finra.org/Investors/Pro- ... Fetch Document
GAO-13-75, RETIREMENT SECURITY: Annuities With Guaranteed ...
Such products, variable annuities with guaranteed lifetime withdrawal benefits (VA/GLWB) and contingent deferred annuities (CDA), share a number of features annuities through FINRA member broker-dealers. Annuity sales made in ... Return Doc
Variable Annuity Fact Sheet - Pacific Life - Annuities
Variable Annuities brochure and the prospectus. Access to Your Money You can withdraw earnings and up to 10% of your remaining purchase payments on an annual basis—with a minimum (member FINRA & SIPC), a subsidiary of Pacific Life ... Get Content Here
Forethought Enters Variable Annuity Market With Launch Of ForeRetirement℠ Variable Annuity Featuring Daily Benefit ...
Forethought Financial Group, Inc. , through its Forethought Life Insurance Company subsidiary, has launched the ForeRetirement variable annuity with daily benefit opti ... Read News
Dechert - U.S. Securities And Exchange Commission | Homepage
FINRA emphasizes, however, that the mle does not require broker-dealers to effect trades that they determine-are not suitable; rather, all variable annuities that they sell, even if a portion of those transactions are not made pursuant ... Fetch Here
SUITABILITY IN ANNUITY TRANSACTION MODEL REGULATION
(FINRA). What are the obligations of insurance producers and insurers to determine suitability under such as variable annuities, are required to meet FINRA suitability rules; and sales in compliance with FINRA rules would comply with the NAIC ... View This Document
ALI-ABA Course Of Study FINRA/SEC Compliance And Enforcement ...
Variable annuities and FINRA s uncovering of ques tionable sales practices that led it to issue Notice to Members 99-35 and several subsequent Regulatory and Compliance Alerts emphasizing FINRA members suitab ility and supervisory ... Get Document
Investment Options: Variable Annuities
Integrity variable annuities or the iShares Funds. BlackRock has no obligation or liability in connection with the operation, marketing, sale or trading of Integrity and National * A registered broker-dealer and member FINRA/SIPC. ... View Document
Annuities And The Securities And Exchange Commission Proposed ...
Retains authority over FINRA and may require it to adopt, or not adopt, certain policies Association (NASAA) cites variable annuities as one of a number of products that are commonly used to defraud senior citizens.9 Reaction to the Proposed Rule. ... Fetch Document
Financial Services Regulatory Highlights - PwC: Audit And ...
SEC Approves FINRA Rule Governing Sales Practices of Deferred Variable Annuities Variable Annuities On September 10, 2007, the SEC approved new FINRA Rule 2821 that will govern the sales practice standards of deferred variable annuities. ... Access Doc
Facts About The New York Life Premier Plus Variable Annuity
Also, variable annuities are subject to additional fees to which other tax-qualified plan funding vehicles may not be subject. FINRA/SIPC. Securities are offered through properly licensed Registered Representatives of NYLIFE Securities LLC ... Retrieve Here
ANNUITIES
Of variable annuities has been subject to FINRA Rule 2821, which establishes standards for soliciting and reviewing virtually all variable annuity transactions. In April 2009, the U.S. Secu-rities and Exchange Commission approved ... Fetch This Document
Pacific One Select Variable Annuity Fact Sheet
Variable annuities are distributed by Pacific Select Distributors, Inc. (member FINRA & SIPC), a subsidiary of Pacific Life Insurance Company, and an affiliate of Pacific Life & Annuity Company (Newport Beach, CA), and are available through licensed ... Fetch Content
Facts About The New York Life Flexible Premium Variable ...
Also, variable annuities are subject to additional fees to which other tax-qualified plan funding vehicles may not be subject. (Member FINRA/SIPC), A Licensed Insurance Agency. New York Life Insurance and Annuity Corporation, NYLIFE Distributors LLC and ... Read Content
News Bulletin September 3, 2008 SEC Regulation Of Indexed ...
Characteristics of both fixed and variable annuities is required before a given annuity contract can be classified dealer and its registered representatives would be subject to FINRA oversight. Analyses would need to be ... Read More
A Whole New Idea In Variable Annuities. - Car Insurance ...
Variable annuities are sold by prospectus. The prospectus contains investment objectives, risks, fees, charges, expenses, Member FINRA. NOT INSURED BY PENSION BENEFIT GUARANTY CORPORATION OR ANY GOVERNMENT AGENCY NOT A CORPORATE PENSION ... View This Document
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